TRADITION FINANCIAL SERVICES LTD.

• Principal Place of Business

  Salesforce

  110 Bishopsgate

  London

  City Of London

  EC2N 4AY

  UNITED KINGDOM

  Phone

  +4402071981500

  Web

  https://www.tradition.com

• Complaints Contact

  Salesforce

  110 Bishopsgate

  London

  City Of London

  EC2N 4AY

  UNITED KINGDOM

  Phone

  +4402071981500

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · Limited to advice that (1) is given in connection with a transaction in the course of which the only regulated activities carried on by the firm are regulated activities of the kind mentioned below and (2) relates to the carrying on by the firm of those activities in the course of that transaction. The activities mentioned above are arranging (bringing about) deals in investments and making arrangements with a view to transactions in investments.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Angus John Drennan Wink

  IRN AJW01252

  • SMF3 Executive Director (9 Mar 2020 to 19 Sep 2023)
• Ania Kubow

  IRN AXK02128

  • CF30 Customer (22 Nov 2011 to 1 Feb 2017)
• Anita Bohacova

  IRN AXB02416

  • CF30 Customer (18 Dec 2008 to 30 Sep 2019)
• Arianne Claire Milton Curry

  IRN ACC01144

  • CF30 Customer (19 Feb 2009 to 31 May 2010)
• Barry Frederick Smith

  IRN BFS01020

  • CF30 Customer (28 Feb 2013 to 31 Dec 2015)
• Barry Graeme Wainwright

  IRN BGW01016

  • SMF16 Compliance Oversight (since 25 Jul 2024)
• Beata Meler-Chawlowska

  IRN BXM01979

  • CF30 Customer (15 Feb 2016 to 27 Mar 2017)
• Ben Bates

  IRN BXB01297

  • CF30 Customer (19 Feb 2009 to 8 Jun 2010)
• Ben Feder

  IRN BXF01263

  • CF30 Customer (11 Apr 2016 to 21 Oct 2016)
• Benjamin Anthony Coleman

  IRN BAC01097

  • [FCA CF] Client dealing (12 Nov 2020 to 2 Jul 2025)
  • CF30 Customer (22 Oct 2012 to 8 Dec 2019)

No changes recorded yet.